View
216
Download
1
Category
Preview:
Citation preview
Regional Workshop on Trade Facilitation &
Paperless Systems for Agrifood Products
UN Economic and Social Commission for Asia and the Pacific
Bangkok, Thailand, 15-17 December 2014
2
STREAMLINING AND AUTOMATING PROCEDURES FOR AGRIFOOD TRADE
Francis Norman Lopez
Streamlining and Automating Procedures for AgriFood Trade
Agenda
• Import and Export Processes in AgriFood Trade
• SPS Exchange
• Facilitating Trade of AgriFood with the Single
Window
• Case Study: Philippines
Typical AgriFood Supply Chain*
* Information Management in AgriFood Chain: Towards an Integrated Paperless Framework for AgriFood Trade Facilitation
Collaboration in Trade • Identifiers: AEOs, Product
Codes • Compliance to import
requirements • Visibility across the Supply
Chain
Case Studies • India GrapeNet • Malaysia Food and
Traceability • Vietnam TraceVerified for
Fish Exports • New Zealand eCert for Meat
Products
Case Studies • US ITDS –GS1 • China eCert, GPS and RFID
Transport • Air, Sea and Land
Case Studies
• Export
– India GrapeNet
– Malaysia Food and Traceability
– Vietnam TraceVerified for Fish Exports
– New Zealand eCert for Meat Products
• Import
– China Tianjin eCert, GPS-RFID
– US ITDS
– Philippines
• Key Success Factors
– Identification of source and products
– Specific testing procedures – Export-Import collaboration to ensure
Certification for compliance to import
regulatory requirements – Accessibility of data for transparency,
monitoring and reports – Government support, possibly with
funding, for sustainability – Tangible benefits to government and
the private sector – Cost effective technical solution
Key Documents in AgriFood Trade
Exports
• Trade Documents
- Commodity clearance, e.g., palm/coconut oil, sugar
- SPS Certificate (Health, Veterinary, Phyto Certificate)
- Catch Certificates (EU IUU Regulations)
- Halal Certificate (Moslem countries)
- Fumigation Certificate
- Export Declaration
- Certificate of Origin
• Supply Chain Documents
- Invoice
- ASN/Packing List
• Transport Documents
- Advanced Manifest
- AWB/BL
6
Imports
• Trade Documents
- Import Permit (eg SPS Import Clearance)
- SPS Certificate (Health, Veterinary, Phyto Certificate)
- MAV Import Certificate (Safeguard Measure)
- Request for Inspection
- Veterinary Quarantine, Meat Inspection and Laboratory Certificate
- Certificate of Meat Inspection
- Import Declaration
- Certificate of Origin
• Supply Chain Documents
- Purchase Order
- Invoice
- ASN/Packing List
• Transport Documents
- Advanced Manifest
- AWB/BL
SPS Certificate
• Sanitary and Phytosanitary Certificate
- WTO SPS Agreement
- International Plant Protection Council (IPPC) and the International Plant Sanitary Measures No.12 (IPSM)
- CODEX Alimentarius Commission/OIE
• Issuance of SPS Certificate
- Harmonise SPS measures, based on international standards, guidelines and recommendations
- Safeguard international trade of plants, animals and fisheries and products thereof
7
e-SPS Certification
• Definition - A secure exchange of SPS / eCert Messages from Issuing Authority
(Export) to Quarantine Authority/National Plant Protection
Organisation -NPPO (Import)
• Objectives - Ensure compliance to health, sanitary requirements of exporting and
importing country
- Facilitate compliance and control fraud
- Trade facilitation, cross border efficiencies with advanced
information, reusable data
9
e-SPS Features
• Government-to-Government (G2G) Exchange
• Equivalent to paper SPS
• Prior Notice - available prior to arrival
• Initiate pre-clearance processes
• Verification of paper SPS Certificate
• Reusable SPS data - traders, products
10
E-SPS Initiatives
• IPPC IPSM No 12 - ePhyto Certificate
• AU DAFF e-CERT
• US ITDS GS1
• APEC ECSG SPS
• PAA e-SPS
12
IPPC ISPM No.12 : e-Phyto
• Definition
- It is the electronic transmission of phytosanitary certificate
information (electronic equivalent of a paper phytosanitary
certificate), containing the same information and giving the
same guarantee.
• Key Elements
- Message format
- Data Harmonisation (as prescribed in ISPM12)
- Secure transmission
- Integrity, Authenticity of the message
13
IPPC: International Plant Protection Convention
ISPM: International Standards for Phytosanitary Measures
IPPC ISPM No12 ePhyto Certificate
• E-Phyto is NOT a “copy” of the Phyto Certificate
• A secured data set conforming to the ISPM12, transmitted securely from exporting to importing National Plant
Protection Office (NPPO)
• Equivalent to a paper Phytosanitary Certificate, and may be
used only if accepted by the importing NPPO
14
IPPS ISPM No 12 ePhyto
• Electronic Certificate may be issued where accepted by the
National Plant Protection Office (NPPO) of the importing country
• Specific required provisions
- The mode of issue, transmission and level of security is acceptable to the NPPO of the importing country
- Information provided is consistent with the IPPC Model Phytosanitary Certificates
- The purpose of the phytosanitary certification under the IPPC is realized
- The identity of the issuing NPPO can be adequately established and authenticated
• Available to the relevant NPPO upon consignment arrival
15
e-Phyto Certification is NOT ..
• Text processing or other electronic generation of paper
forms (eg. SPS or Phyto Certificate)
• Transfer of electronic version of a paper certificate (e.g.
Certificate in pdf)
• On-line data entry [by exporting authority] in system of
importing country
• National electronic system to facilitate phytosanitary
certification
• National system to facilitate phytosanitary import process
through inspections
16
. . Nico Horn on behalf of the IPPC ePhyto Steering Committee
IPPC e-Phyto Work Groups
18
• XML Schema - UN/CEFACT Standards, Schema, Codes
- Data mapping
- Handling mixed consignments
• Code List - Description of consignments
- Standards list: Country ISO Codes, Bayer
Codes, EPPO Codes : List of Plants and Plant Pest
- Botanical names
- Treatments
- Additional declarations
- Product descriptions: categories, sub-class
• Communication Protocols - Methods of transfer, security measures,
validation
• EWG Participants, Sept 2012 Paris
- Steering Committee - D Howell, IPPC Secretariat
- R Lee, NAPPO
- P Johnston, New Zealand
- Nico Horn, Netherlands
- WG1 Coordinator: M Boerma
- WG3 Coordinator: M Perry
- Invited Experts:
- B Cooper, Australia
- S Kirkpatrick, Canada
- M Chen, China
- D Frez, Chile
- K Kaminski, Germany
- L Moret, Netherlands
- L Venter-Wagner, New Zealand
- S Jun, S Korea
Agreed Principles and Recommendations for the e-Phyto Exchange
1. Agreement on definition of e-Phyto Certification
2. All elements for e-Phyto Certification exchange mechanism
will be derived from IPSM 12
3. Universally accepted standards for secure Certificate
exchange, message format and implementation of
procedures will be used
4. UN/CEFACT Schema (data elements, core components)
must be reviewed to ensure consistency with IPSM 12
requirements, and a user guide developed to include an
‘IPSM12 Overlay for the UN/CEFACT Schema’
19 . . 9 Points Summary on Key Agreements during the Plenary of the 3-day Workshop
Agreed Principles and Recommendations for the e-Phyto Exchange
5. During transition periods in implementation, current hard-copy
practices would still apply
6. Rely on IT experts to provide advise on methods for flexible and
secure electronic transfer
7. Initiate a multilateral standardization approach rather than a
bilateral approach with respect to country-to-country negotiations
for exchange
8. Engage developing countries through regional cooperation and
pilot projects and use IPPC for outreach activities, and
9. Develop simple-to-understand communication pieces such as
Background Paper and “Myth-busting” Question and Answers
20 . . 9 Points Summary on Key Agreements during the Plenary of the 3-day Workshop
IPPC e-Phyto Hub
21
Current Point-to-Point Model
AU DAFF NZ MPI
NPPO NPPO
NPPO NPPO IPPC Proposal
• Multiple data standards used • Time and cost spent in
implementing bilateral connectivity and exchange of e-Phyto Certificates
HUB
Proposed e-Phyto Hub Model
AU DAFF NZ MPI
NPPO NPPO
NPPO NPPO
• Single data standard used and maintained, in sending and receiving e-Phyto Certificates
• One-time set up to connect to the e-Phyto Hub
Australia DAFF e-Cert
• E-Cert Website (https://apps.daff.gov.au/ecert/default/Welcome.aspx)
- DAFF Biosecurity Internet application for electronic certification of
traded food and agricultural commodities. This application currently
provides electronic certification for Australian exports of Meat, Skins,
Fish, Dairy, Horticulture, Grains, Wool, Eggs and Inedible Meat
- Online search/view of Export/SPS/Health Certificates
- Allows updates on Certificate status: Accepted, Detained or Request
for Replacement
- Allows download of Certificates in XML format (10k)
• Alternative Access Mode to E-Cert Data - Pull data from AQIS via interaction with SOAP interface
- Push data to Import/Quarantine Authority via SMTP and digital
certificates
22
US ITDS GS1 Pilot E-Cert
• Toys, Cut flowers, Meat and Poultry
• Global eCommerce Product Catalog
- Granularity of product identification
- Product visibility across borders
- Consumer security
- Cost savings
• Compliance to unique country-by-country,
product-by-product requirements
23
GS1 Standards
25
• Global Location
Number (GLN)
• Global Trade
Identification
Number (GTIN)
• Global Data
Synchonization
Network (GDSN)
US ITDS GSW Pilot E-Cert Findings
• 100% of the 21 static attributes or characteristics
assigned to identify and classify meat and poultry
products could be downloaded from a GS1 GDSN-
compliant catalog
• No information technology or security obstacles,
enable re-use of supplier published product
information, with complex product characterisation
• Improved data accuracy and efficiencies (i.e. reduce
product characterisation errors)
26
PAA E-SPS Exchange
31
• e-SPS exchange, with Service Provider
• eSPS with advanced import permit
exchange, with Service Provider
• eSPS with advanced import permit
exchange, with Service Provider on one
country
Take Aways from e-SPS Initiatives
32
• Initiatives on e-SPS aims to facilitate
exports, ensure compliance to import
requirements and mitigate fraud
• Evolving e-SPS data standards to
enhance risk management and
traceability, and workflows to facilitate e-
SPS Exchange
• Need to align new initiatives e.g., SWAT,
ASW e-SPS Exchange, e-Phyto Hub, etc.
Group Exercise
34
• What is the current state of SPS in each country ?
- Manual processes, paper-based application, approval and issuance of SPS Certificate; or, Automated or on-going project to automate the SPS
process
- Online access or receipt of e-SPS from issuing authority; Facilitate import quarantine clearance with the use of advanced e-SPS
• What are possible barriers to e-SPS Exchange ? - Management awareness or appreciation of global trends
- Legal or administrative restrictions, requiring enactment of laws, policy issuances and directives
- IT infrastructure (availability, reliability and cost)
- Internal IT capabilities
- Resistance to change
Challenges in Paper-based Processes
• Hardcopy documents
- Daily volume of documents submitted
- Accuracy, consistency of information
• Manual intervention in the review, processing and
approval
- Clerical errors in review
- Human intervention in the approval processes
- Data re-entry to generate reports
• Transparency
- Data visibility, documents in ‘filing cabinets’
- Accountability
- Limited data analysis
35
Some prefer ‘IBM’ Systems
Rationale for Automation
• Volume of transactions being processed
manually
• Repetitive processes
• Need to reduce processing cycle time
• Incidence of clerical errors
• Cost savings
• Compliance to requirements - internal, external
• Accessibility of information, reports
36
Methodologies
• Business process modelling - Understanding workflows and roles of stakeholders
- Eliminating ‘defects’ in the processes i.e. causing delays or cost
• Document/message and data standardisation - Adopting standards or harmonising data messages, specifications
- Enable interoperable systems
• Modular implementation - Designing the complete workflow/process
- Developing and implementing critical module to generate
impact on the complete process
38
Challenges in Automation
• Largely manual SPS processes (export and import)
• Current automation focus on internal processes and
requirements, on the NSW (import)
• Receipt/access to e-SPS Certificate mainly to
authenticate paper SPS Certificate (control fraud)
• Compliance of SPS Certificate to import requirements
• Current legal, policy framework does not provide SPS
exchange
• Agency technical readiness, capabilities
• Multiple message standards used
39
More Challenges
• Project Implementation
- Project Plan
- Technical experts
- Funding and substainability
• Infrastructure
- Administrative and legal issuances
- Data communication
- Power
40
PH Agri Trade System: Background
• From 2002 to 2008, the Department of Agriculture (DA) had several attempts to
automate their processes;
• Executive Order no. 482 dated 27 December 2005, creating the National Single
Window Task Force
• In 2007, initial implementation of the PNSW using the Licensing and Clearance
System of ASYCUDA
• In 2008, the DA issued directive harmonizing the import procedures of 3
agencies i.e. the Bureau of Animal Industry (BAI), the Bureau of Fisheries and
Aquatic Resources (BFAR) and the Bureau of Plant Industry (BPI)
–The Proposal BIMP-EAGA Pilot electronic Cross Border Information Project led to the proposal to automate the SPS Import Clearance Precedures for the 3 DA Agencies
• In 2009, Pilot Implementation of the SPS Import Clearance
• In 2010, mandatory implementation of SPS Import Clearance and subsequently
followed by the MAV/MAV Import Certificate, Request for Inspection (1st Border)
and Veterinary Quarantine, Meat Inspection and Laboratory Certificate
PH Agri Import Procedures – before 2010
• Centralized manual processes done at Head Offices, in Metro
Manila
–Accreditation/registration of importers and cold storage warehouse
–Submission of application, processing and approval of SPS Import Clearance
(SPS/IC)
–Minimum Access Volume (MAV) allocation and issuance of MAV Import
Certificate
–Request for transfer of delivery of imported meat products to another cold
storage warehouse
–Manually accomplished (hand written) Request for Inspection and issuance of
the Veterinary Quarantine, Meat Inspection and Laboratory Certificate and
Inspection Report (including verification of SPS Certificates and other import
documents)
• Consider 3,400 importers of agri products, average 500 import
shipments daily in 57 international ports, with 200 cold storage
warehouses
Challenges in Manual Processes
• Qualifying importers, suppliers and exporters for accreditation and registration
• Identification and classification of commodities, products
• Document submission, verification, authentication and storage 1.Certificate of Product Registration
2.SPS Import Clearance
3.MAV Allocation and Import Certificate
4.SPS Certificates eg Health and Phyto Certificates
5.Commercial Invoice
6.AWB/BL
7.Import Declaration
8.Port Quarantine Inspection Report/VQMILC
9.Certificate of Meat Inspection
• Collection/payment of fees and issuance of receipts
• Monitoring transport and cargo handling
• Traceability from source to consumer
• Profiling and Risk Management
• Generating timely and accurate statistics
Dept of Agriculture
BAI BFAR BPI
Regional Ofcs
Regional Ofcs
Regional Ofcs
Quarantine Ofc at Ports
Quarantine Ofc at Ports
Quarantine Ofc at Ports
Regulated Commodities, Products
• Bureau of Animal Industry (BAI) – Live Animals, for breeding and as pets – Animal Product and By-Products, eg.
Beef, Port, Chicken and other Meat Products
– Feed and Feed ingredients, Supplements
– Veterinary Drugs, Additives, Supplements
• Bureau of Fisheries and Aquatic Resources (BFAR) – Live Fish – Fresh/Frozen Products
• National Meat Inspection Service
– Meat and Meat Products
• Bureau of Plant Industry (BPI)
– Plant, including ornamentals – Plant Products eg flowers, grains,
fruits and vegetables
– Planting Materials
Customs and Quarantine Clearance Invoice,
Packing List Pre-Alert
AWB/BL
SPS SAD
Lodge
Manual Assess
FAN
Auto Assess
AWB/BL
Start
VASP
AAB
NSW
PASS5 Examine
OLRS
Online Preparation
Electronic Submission
BAI Review, Payment,
Processing & Approval
Printing of Approved SPS
Import Clearance
Quarantine Inspection
RFI
• SPS Import Clearance •MAV Import Certificate • SPS/Phyto Certificate • Import Entry Declaration SAD • Commercial Invoice • Packing List • Bill of Lading/AWB
VQMILC NMIS Meat
Inspection End
Issues Encountered
48
• Prior initiatives failed, agencies and IT team were skeptical of success; budget for the project was exhausted
• Engagement of a Service Provider, fee for service paid by
transacting parties • Limited IT infrastructure, proficiency and support • Initial scope was limited to import permit (SPS Import
Clearance); accounting/audit issues on e-payment of agency fees
• Delays in the approval, issuance of directives implementing guidelines
• Deferred implementation by agencies due to change management issues
Major Changes in the Processes
49
• ONLY accredited/registered importers in
database can apply for import permit.
• Import items of importers are pre-cleared, and
uploaded in database. Importers can submit
such items in the import permit; otherwise, they
have to submit new items for inclusion in the
database.
• To address reservations of agencies in the
epayment of agency fees, the advance
deposits (prepaid account) was introduced
wherein the fees would be autodebited from advances
Lessons Learned
50
• Top management support, and middle
management as project champions, is key to
successful implementation
• Importance of business process domain and ICT
knowledge, with flexibility to overcome business
process and technical barriers
• Substantial benefits (reduced cycle time,
availability, reliability, predictability and cost
savings) to garner industry/stakeholders support
• Public-private partnership - collaboration is possible
Agriculture Trade System
52
• Agriculture Single Window (Imports) adopting data pipeline
model where information added in subsequent processes
• The timing of the import permit (SPS Import Clearance) is critical; it
must be approved prior to loading of cargo at port of origin
• Phased approach, with strong support from the top management
Department of Agriculture
• Potential interface of the Request for Inspection (RFI) had
Customs system been capable
• Final phase, i.e.. Certificate of Meat Inspection/Local Transfer
Permit, enables import traceability from arrival to delivery to
consumer
• Improved risk management and enforcement of compliance to
regulatory measures
Import Processes and Traceability
Agriculture Trade System IOIS, Data Pipeline
AgriFood Supply Chain Primary
Producer
Retail
Permit Apln SPS IC SPS Cert RFI VQMILC COMI
LTP
ProForma
Invoice
PO
Comfirmattion
SPS
Certification Transport,
Customs Data
Quarantine
Inspection Delivery
Source Supplier
Products Quantity
Importer CSW
SPS IC No, Validity
Import Req
Exporter, Products
SPS Certification
Shipper, Consignee, Meat Est No., Shipping Data
(AWB/BL)), Invoice Data
Products/HSCode SPS Ref No
Port Quarantine Inspection
Report
Meat Inspection, Laboratory Certification
Meat Certification, Products Destination
Proposed PH E-SPS Exchange
• Issuance and transmission of SPS Certificates
• Receipt of SPS Certificate and ensuring compliance to import quarantine requirements
KR
NZ
AU SP/ TS
AU DAFF in 2007
BAI BFAR
BPI
BAI
DA Trade System 2014
Online Access to DAFF SPS eCert
NPPO/QIA
Exporting
Country Importing
Country
NPPO/QIA SPS Certificate
Exporter Importer
SPS Import
Clearance
Application,
Approval
SPS Notice
SPS Import Clearance/Permit
SPS Status/Change Request
SPS
Certificate
Application,
Issuance
1
4
3
2
E-SPS Exchange Model*
* Pan Asian eCommerce Alliance Model
5
4
IPPC e-Phyto Hub
58
HUB
Current Point-to-Point Model Proposed e-Phyto Hub Model
AU DAFF AU DAFF NZ MPI
NPPO NPPO
NPPO NPPO IPPC Proposal
NZ MPI
NPPO NPPO
NPPO NPPO
• Multiple data standards used • Time and cost spent in
implementing bilateral connectivity and exchange of e-Phyto Certificates
• Single data standard used and maintained, in sending and receiving e-Phyto Certificates
• One-time set up to connect to the e-Phyto Hub
A S W Gateways
PH E-SPS and IPPC/ASW
59
HUB
Point-to-Point Model Proposed e-Phyto Hub Model
BAI
BFAR
BPI
AU DAFF AU DAFF NZ MPI
NPPO NPPO
NPPO NPPO IPPC Proposal
NSW
NPPO
On-going tests with DAFF on the receipt of the SPS Cert
Proposed pilot test on the receipt of the SPS Cert from ID, MY, TH
PNSW
DA Trade System
Moving towards e-SPS
60
1. Generate awareness and muster support from top
management, highlighting
- Need to comply to AgriFood Trade requirements
- Improved cycle time and reduced costs
- Access real-time information
2. Review of current policies, guidelines and procedures
- Applicable e-Commerce Law
- Amendment of current procedures to allow electronic submission
and processing of documents
- Harmonise forms, adopting standard message, data and codes
3. Assess technical and funding requirements, and internal IT
capabilities, competencies
- Development of an IT Plan, with implementation in stages to achieve
early success and change management
- Work with experts .. able to harness rapidly changing technology
Recommended